法律英语：证券公司合规管理试行规定.

2017-08-13 作者： 41阅读

　　China Securities Regulatory Commission Official Bulletin No.30 [2008]

　　中国证券监督管理委员会公告 [2008]30号

　　Interim Provisions on Compliance Management of Securites Companies is hereby announced and shall take fect on August 1, 2008.

　　现公布《证券公司合规管理试行规定》，自 2008年8月1日起施行。

　　China Securities Regulatory Commission July 14, 2008

　　中国证券监督管理委员会二○○八年七月十四日

　　Interim Provisions on Compliance Management of Securites Companies

　　证券公司合规管理试行规定

　　Article 1 This provision is formulated to promote securites companies enhancing internal compliance management, strengthen self restraint capabilityand realize sustainable and standardized development, according to the Securities Law and Regulation on Supervision and the Administration of Securities Companies.

　　第一条为了促进证券公司加强内部合规管理，增强自我约束能力，实现持续规范发展，根据《证券法》和《证券公司监督管理条例》，制定本规定。

　　Article 2 Securites companies that is set up in Chinese territory shall implement compliance management based on this provision.

　　第二条在中华人民共和国境内设立的证券公司应当按照本规定实施合规管理。

　　Compliance management in this provision rers to such behaviors of securites companies as development and implementation of compliance management system, establishment of compliance management mechanism, cultivation of compliance culture and prevention of compliance risk.

　　本规定所称合规管理，是指证券公司制定和执行合规管理制度，建立合规管理机制，培育合规文化，防范合规风险的行为。

　　Compliance in this provision rers to compliance of business management of securites companies and occupational behavior of its working staff with law, regulation, rule and other normative document, behavior criteria, rule of self discipline,company rule and system, and occupational ethics and conduct code (hereinafter rerred to as “law, regulation and rule”) that are widely known in the industry and universally observed.

　　本规定所称合规，是指证券公司及其工作人员的经营管理和执业行为符合法律、法规、规章及其他规范性文件、行业规范和自律规则、公司内部规章制度，以及行业公认并普遍遵守的职业道德和行为准则(以下统称“法律、法规和准则”)。

　　Compliance risk in this provision rers to risk of legal sanction, being subject to supervisory measure, loss of property or reputation on securitescompanies, when the business management of securites companies or occupational behavior of its working staff violates law, regulation or rule.

　　本规定所称合规风险，是指因证券公司或其工作人员的经营管理或执业行为违反法律、法规或准则而使证券公司受到法律制裁、被采取监管措施、遭受财产损失或声誉损失的风险。

　　Article3 Compliance management of securites companies shall cover allbusinesses, each department and branch of the company, and go through various steps like decision making, implementation, supervision and feedback.

　　第三条证券公司的合规管理应当覆盖公司所有业务、各个部门和分支机构、全体工作人员，贯穿决策、执行、监督、反馈等各个环节。

　　Article 4 Securites companies shall build philosophy of legal operation,compliance by all working staff starting from top to bottom, advocate andfacilitate establishment of compliance culture, and raise compliance awarenessof all staff.

　　第四条证券公司应当树立合规经营、全员合规、合规从高层做起的理念，倡导和推进合规文化建设，培育全体工作人员的合规意识。

　　Article5 Securites companies shall formulate basic system for compliance management and implement it after approval from the BOD. Basic systems of compliance management include target, basic principle, organization structure, roles and responsibility of compliance management, report, handling and legal responsibility pursuing of violation.

　　第五条证券公司应当制定合规管理的基本制度，经董事会审议通过后实施。合规管理的基本制度应当包括合规管理的目标、基本原则、机构设置及其职责，以及违规事项的报告、处理和责任追究办法等内容。

　　Article 6 Board of directors, board of supervisors and senior managementof securites companies shall perform roles and responsibilities related to compliance management based on law, regulation and company rule, and hold responsible for fectiveness of company compliance management.

　　第六条证券公司董事会、监事会和高级管理人员依照法律、法规和公司章程的规定，履行与合规管理有关的职责，对公司合规管理的有效性承担责任。

　　Principals of each department and branch of the securities company shall enhance supervision and administration of the compliance of occupational conduct ofworking staff in the department and branch, and hold responsible for fectiveness of compliance management in the department and branch.

　　证券公司各部门和分支机构负责人应当加强对本部门和分支机构工作人员执业行为合规性的监督管理，对本部门和分支机构合规管理的有效性承担责任。

　　All staff in the securities company shall get familiar with law, regulation andrule related to specific occupational behavior, take initiative to identify,control compliance risk of the occupational behavior, and hold responsible forcompliance of their occupational behavior.

　　证券公司的全体工作人员都应当熟知与其执业行为有关的法律、法规和准则，主动识别、控制其执业行为的合规风险，并对其执业行为的合规性承担责任。

　　Article 7 Securites companies shall organize related internal organization and department, or entrusting external professional institute toconduct evaluation of fectiveness of company compliance management uponrequirement, resolve problems existed in compliance management, and conductoverall evaluation of compliance management fectiveness at least once eachyear.

　　第七条证券公司应当根据需要，组织内部有关机构和部门或者委托外部专业机构对公司合规管理的有效性进行评估，及时解决合规管理中存在的问题。对公司合规管理有效性的全面评估，每年不得少于一次。

　　Article8 Securites companies shall set up director position of compliancemanagement. Such compliance management director is the principal of company compliance, and hold responsible for inspecting, supervising and checking of compliance of business management and occupational behavior of the company as well as the working staff.

　　第八条证券公司设合规总监。合规总监是公司的合规负责人，对公司及其工作人员的经营管理和执业行为的合规性进行审查、监督和检查。

　　The compliance management director shall neither shaller other position that has conflict with the role and responsibility of compliance management nor administrate department that in conflict with role and responsibility ofcompliance management.

　　合规总监不得兼任与合规管理职责相冲突的职务，不得分管与合规管理职责相冲突的部门。

　　Rule of Securites companies shall prescribe on position, role and responsibility, appointment and removal condition, procedure and so on.

　　证券公司的章程应当对合规总监的地位、职责、任免条件和程序等作出规定。

　　Article9 Compliance director shall meet the following condition for the position:

　　第九条合规总监应当具备下列任职条件：

　　(1)Acquired senior management qualification of securites companies;

　　(一)取得证券公司高级管理人员任职资格;

　　(2)Got familiar withsecurities business, understood securities law, regulation and rule, and had related know-how and expertise of compliance management;

　　(二)熟悉证券业务，通晓证券法律、法规和准则，具有胜任合规管理工作需要的专业知识和技能;

　　(3)Engaged in securities workfor over five years and passed concerning professional exam or had at least 8years' experience; or had took the position of professional supervision formore than 8 years in securities supervision and administration institute.

　　(三)从事证券工作5年以上，并且通过有关专业考试或具有8年以上法律工作经历;或在证券监管机构的专业监管岗位任职8年以上。

　　The professional exam mentioned in (3) above rers to exam on compliance management capability of securites companies, national judicial examination, or lawyer qualification exam.

　　前款第(三)项所称专业考试，是指中国证券业协会组织的证券公司合规管理人员胜任能力考试、国家司法考试或律师资格考试。

　　Article10 Securites companies shall submit resume and related certificatematerial of the appointee to local securities regulatory bureau while employinga compliance director. After being approved by local securities regulatory bureau, the compliance director can take post.

　　第十条证券公司聘任合规总监，应当向公司住所地证监局报送拟任人简历及有关证明材料。经公司住所地证监局认可后，合规总监方可任职。

　　Securites companies shall have appropriate reason for dismissing compliancedirector and submit written report of fact and reason of the dismission, within 3 working days from the dismissing day, to local securities regulatory bureau.

　　证券公司解聘合规总监，应当有正当理由，并自解聘之日起3个工作日内，将解聘的事实和理由书面报告公司住所地证监局。

　　Article11 When the compliance director can't perform responsibility or theposition is vacancy, securites companies shall appoint a substitutive senior management and submit written report to local securities regulatory bureau within 3 working days of the appointed date.

　　第十一条合规总监不能履行职责或缺位时，证券公司应当指定一名高级管理人员代行其职责，并自指定之日起3个工作日内向公司住所地证监局作出书面报告

　　The substitutive compliance director shalln't administrate department that's inconflict with role and responsibility of compliance management. The substitutive period shall not exceed 6 months.

　　代行合规总监职责的人员不得分管与合规管理职责相冲突的部门，代行职责的时间不得超过6个月。

　　If the position of compliance director is vacancy, the company shall, within 6months, employ someone, who meets requirement prescribed in article 9 of this provision to assume compliance director position.

　　合规总监缺位的，公司应当在6个月内聘请符合本规定第九条规定的人员担任合规总监。

　　Article 12 Compliance director shall conduct compliance audit of companyinternal management system, major decision, new product and new business proposals and issue written compliance audit suggestion.

　　第十二条合规总监应当对公司内部管理制度、重大决策、新产品和新业务方案等进行合规审查，并出具书面的合规审查意见。

　　If securities supervision and administration institute requires securites companies to conduct compliance audit for submitted application document orreport, the compliance director shall implement the audit and put clear suggestion in the application material or report.

　　证券监管机构要求对公司报送的申请材料或报告进行合规审查的，合规总监应当审查，并在该申请材料或报告上签署明确意见。

　　Article13 Compliance director shall adopt fective measures to supervisecompliance of business management and occupational conduct of the company as well as working staff, and implement regular or irregular inspection based on requirement of securities regulatory institute and company prescription.

　　第十三条合规总监应当采取有效措施，对公司及其工作人员的经营管理和执业行为的合规性进行监督，并按照证券监管机构的要求和公司规定进行定期、不定期的检查。

　　Compliance director shall organize and implement company anti-money washing andinformation isolation wall system, provide compliance consultation to senior management, each department and branch, organize compliance training and handle claim and report on violation behavior of the company and working staff.

　　合规总监应当组织实施公司反洗钱和信息隔离墙制度，按照公司规定为高级管理人员、各部门和分支机构提供合规咨询、组织合规培训，处理涉及公司和工作人员违法违规行为的投诉和举报。

　　Article 14 If compliance director finds violation behavior of law orregulation or compliance risk in the company, he shall report to internal institute prescribed in company rule as well as local securities regulatorybureau in time; if such behavior violates industrial standard and selfdiscipline rule, report shall also be sent to related self discipline organization.

　　第十四条合规总监发现公司存在违法违规行为或合规风险隐患的，应当及时向公司章程规定的内部机构报告，同时向公司住所地证监局报告;有关行为违反行业规范和自律规则的，还应当向有关自律组织报告。

　　For violation behavior and compliance risk potential, compliance director shallput forward suggestions to related company institute or department on stopping and handling of such violation behavior and risk potential, and urge the rectification. Securites companies shall report the rectification result to local regulatory bureau; and send a copy to related self discipline organization if necessary.

　　对违法违规行为和合规风险隐患，合规总监应当及时向公司有关机构或部门提出制止和处理意见，并督促整改。公司应当将整改结果报告住所地证监局;必要时，抄报有关自律组织。

　　Article15 If law, regulation and rule are changed, compliance director shall suggest board of director or senior management to supervise related company department in a timely manner, evaluate impact to company compliance management, and modify and complete related management system and business procedure.

　　第十五条法律、法规和准则发生变动，合规总监应当及时建议公司董事会或高级管理人员并督导公司有关部门，评估其对公司合规管理的影响，修改、完善有关管理制度和业务流程。

　　Article16 Compliance director shall keep contact with securities supervision and administration institute and self discipline organization, and take initiative to cooperate with work of securities supervision and administration institute and self discipline organization.

　　第十六条合规总监应当保持与证券监管机构和自律组织的联系沟通，主动配合证券监管机构和自律组织的工作。

　　Compliance director shall handle investigation required by securities supervision and administration institute and self discipline organization in a timely manner,cooperate with them on company inspection and investigation, follow up and evaluate implementing result of supervision suggestion and requirement.

　　合规总监应当及时处理证券监管机构和自律组织要求调查的事项，配合证券监管机构和自律组织对公司的检查和调查，跟踪和评估监管意见和监管要求的落实情况。

　　If compliance director finds ambiguity of prescription in law, regulation and rule,and feels hard to make judgment on compliance of business management and occupational behavior of the company as well as working staff, he can consult to securities supervision and administration institute or self discipline organization, who shall reply in a timely manner.

　　合规总监认为法律、法规和准则的规定不明确，难以对公司及其工作人员的经营管理和执业行为的合规性作出判断的，可以向证券监管机构或者自律组织咨询。接受咨询的证券监管机构和自律组织应当及时作出答复。

　　Article17 Compliance director shall archive the issued compliance auditsuggestion, provided compliance consultation suggestion, signed companydocument，working paper of compliance inspection, and other documents or materials that are related to performance ofrole and responsibility, and keep record of such performance.

　　第十七条合规总监应当将出具的合规审查意见、提供的合规咨询意见、签署的公司文件、合规检查工作底稿等与履行职责有关的文件、资料存档备查，并对履行职责的情况作出记录。

　　Article 18 Securites companies shall ensure independence of compliancedirector and guarantee compliance director can sufficiently exercise the right of knowing and investigation of necessity in order to perform role andresponsibility.

　　第十八条证券公司应当保障合规总监的独立性，保障合规总监能够充分行使履行职责所必需的知情权和调查权。

　　Compliance director enjoys the right to participate or attend meetings related to his performance of role and responsibility, get and read related document, material, and ask persons concerned to explain issues.

　　合规总监有权参加或列席与其履行职责有关的会议，调阅有关文件、资料，要求公司有关人员对有关事项作出说明。

　　Shareholders,board of directors and senior managements shalln’t directly order or interfere the work of compliance director by violating prescribed role and responsibility and procedure; board of directors, supervisory directors, senior managements,each department and branch of the securities company shall support and cooperate with compliance director, rather than restricting or interfering his performance of role and responsibility with any excuse.

　　证券公司的股东、董事和高级管理人员不得违反规定的职责和程序，直接向合规总监下达指令或者干涉其工作;证券公司的董事、监事、高级管理人员和各部门、分支机构应当支持和配合合规总监的工作，不得以任何理由限制、阻挠合规总监履行职责。

　　Article19 Securites companies shall provide man power, property, fund andtechnical support to compliance director in order to perform his role and responsibility.

　　第十九条证券公司应当为合规总监履行职责提供必要的人力、物力、财力和技术支持。

　　Securites companies shall set up compliance department or appointed relevant department (hereinafter rerred to as “compliance department”) to assist work of the compliance director based on business scope, business scale,organization structure and other conditions, and arrange sufficient number of compliance managing staff, who have professional knowledge and expertise to perform role and responsibility of compliance management, in the compliance department.

　　证券公司应当根据本公司的经营范围、业务规模、组织结构等情况，设立合规部门或指定有关部门(以下统称“合规部门”)协助合规总监工作，并为合规部门配备足够的、具备与履行合规管理职责相适应的专业知识和技能的合规管理人员。

　　If compliance director finds its necessary, he can hire external professionalinstitute or expert in the name of the company to assist his work.

　　合规总监认为必要时，可以公司名义聘请外部专业机构或人员协助其工作。

　　Article 20 Compliance department is responsible for compliance directorand perform compliance management role and responsibility according to company prescription and arrangement of the compliance director. Other responsibility that the compliance department has shalln’t be in conflict with role and responsibility of compliance management.

　　第二十条合规部门对合规总监负责，按照公司规定和合规总监的安排履行合规管理职责。合规部门承担的其他职责不得与合规管理职责相冲突。

　　Securites companies shall clarify different roles and responsibilities betweencompliance department and other internal control department, and establishcoordination and interaction working mechanism among all internal control departments.

　　证券公司应当明确合规部门与其他内部控制部门之间的职责分工，建立各内部控制部门协调互动的工作机制。

　　Article 21 Securites companies shall establish report system forviolation and ensure every employee enjoys normal right of reporting law and regulation violation behavior.

　　第二十一条证券公司应当建立违规举报制度，保障每一位工作人员都能够正常行使举报违法违规行为的权利。

　　When each department, branch and working staff of the company find violation behavior or compliance risk potential, they shall actively and timely report to compliance director.

　　公司各部门、分支机构及其工作人员发现违法违规行为或合规风险隐患时，应当主动、及时地向合规总监报告。

　　Article 22 Securites companies shall include fectiveness of compliancemanagement and legality of occupational behavior into performance review of senior management, each department, branch as well as personnel wherein.

　　第二十二条证券公司应当将合规管理的有效性和执业行为的合规性，纳入高级管理人员、各部门和分支机构及其工作人员的绩效考核范围。

　　Securites companies shall assess performance of role and responsibility of compliance director and compliance management personnel, and decide their salary andbenit. If compliance director and management performed their roles and responsibilities well, their salary and benit shalln’t be lower than average level of company management at the same level.

　　证券公司应当对合规总监和合规管理人员的履职情况进行考核，并根据考核结果决定其薪酬待遇。合规总监和合规管理人员工作称职的，其薪酬待遇应当不低于公司同级别管理人员的平均水平。

　　Article 23 Securites companies shall report interim compliance report tolocal securities regulatory bureau bore August 31 each year; submit annual compliance report of the previous year bore April 30 of each year. The compliance report shall be passed in BOD meeting and includes the following content:

　　第二十三条证券公司应当于每年8月31日前向住所地证监局报送中期合规报告;每年4月30日前报送上一年的年度合规报告。合规报告应当由公司董事会通过，包括以下内容：

　　(1)Basic profile of company compliance management;

　　(一)公司合规管理的基本情况;

　　(2)Performance of role and responsibility of compliance director;

　　(二)合规总监履行职责情况;

　　(3)Discovery and rectificationof company violation behavior and compliance risk;

　　(三)公司违法违规行为、合规风险的发现及整改情况;

　　(4)Evaluation of fectiveness of company compliance management as well as the rectification status;

　　(四)公司合规管理有效性的评估及整改情况;

　　(5)Other content required by securities regulatory institute or believed to be reported by the company.

　　(五)证券监管机构要求或公司认为需要报告的其他内容。

　　Board of director, senior management of the securities company shall sign confirmation suggestion of the foregoing prescribed compliance report to ensure the report is true, accurate and complete; suggestion and reason shall be input if there’s any different point of view on report content.

　　证券公司的董事、高级管理人员应当对前款规定的合规报告签署确认意见，保证报告的内容真实、准确、完整;对报告内容持有异议的，应当注明自己的意见和理由。

　　Article 24 China Securities Regulatory Commission shall evaluate fectiveness of compliance management of securites companies. The evaluation result will serve as an important evidence for securites companies to implement classified supervision.

　　第二十四条中国证监会对证券公司合规管理的有效性进行评价，评价结果作为对证券公司实施分类监管的重要依据。

　　Article25 Through fective compliance management, if the securities company actively finds violation behavior, handles properly, pursues legalresponsibility, complete internal control system and business flow, and reportto local securities regulatory bureau on a timely basis, it can be either free from legal responsibility pursuit or punished at the lower level.

　　第二十五条证券公司通过有效的合规管理，主动发现违法违规行为，积极妥善处理，落实责任追究，完善内部控制制度和业务流程并及时向住所地证监局报告的，依法免于追究责任或从轻、减轻处理。

　　For violation of law and regulation by securites companies, if the compliance director has stopped and reported based on the prescription, legal responsibility will be exempted.

　　对于证券公司的违法违规行为，合规总监已经按照规定履行制止和报告职责的，免除责任。

　　Article26 If securites companies hasn’t performed fective compliance management, internal control is incomplete or there’s any violation behavior,the board of director, senior management and other personnel that hold responsible for the company shall be subject to supervising measure or pursuitof legal responsibility.

　　第二十六条证券公司未能有效实施合规管理，内部控制不完善或出现违法违规行为的，依法对该公司及负有责任的董事、高级管理人员和其他人员采取监管措施或者追究法律责任。

　　If compliance director supports or allows company violation of law and regulation,or not stops or reports as regulation without any reasonable reason, he will besubject to supervising measure or pursuit of legal responsibility. 合规总监支持、纵容公司的违法违规行为，或者无合理理由未能按照规定履行制止、报告职责的，依法对其采取监管措施或者追究法律责任。

　　Article27 This regulation takes fect as of August 1, 2008.

　　第二十七条本规定自2008年8月1日起施行。